VANCOUVER, July 29 /CNW/ - Notice is hereby given that a hearing originally scheduled to be held before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), on Tuesday August 3, 2010, to hear evidence and submissions in the matter of Carolann Steinhoff (the Respondent) will now be held on Thursday August 5, 2010 at UBC Robson Square, Room C 225, 800 Robson St., Vancouver, British Columbia, at 10:00 a.m.
The hearing concerns matters for which the Respondent may be disciplined as an Approved Person of IIROC, pursuant to Part 10 of IIROC Dealer Member Rule 20. The hearing was previously announced in IIROC Enforcement Notice 10 - 0186 which is available at: http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=8E2C54DECB3A45F6B0A72048D31AD2BD&Language=en
The hearing is open to the public, unless the Hearing Panel orders otherwise. The Hearing Panel's decision and reasons will be made available to the public.
IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets. IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.
SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News
For further information: For further information: Warren Funt, Vice President, Western Canada, 604.331.4750, firstname.lastname@example.org; Jeff Kehoe, Vice President, Enforcement, 416 943.6996, email@example.com